Christopher Hynes Subject of Massachusetts Regulatory Action

Christopher Hynes (CRD #: 4171339), a broker formerly registered with Jefferson Pilot Securities Corporation, was recently involved in a state regulatory action, according to his BrokerCheck record, accessed on February 8, 2023. If you want to know more about his alleged conduct as a broker, keep reading.

Massachusetts Regulatory Action

On November 7, 2022, the Massachusetts Securities Division alleged that Christopher Hynes engaged in unregistered investment advisory activity.

The Massachusetts Securities Division entered a consent order with Christopher Hynes. The Securities Division prohibited him from seeking registration as, associating with, or acting as any of the following in Massachusetts for five years following the date of the consent order:

• Investment adviser
• Investment adviser representative
• Broker-dealer
• Broker-dealer agent
• Issuer (excluding any engaged with before the entry of the order)
• Issuer agent
• Partner, officer director, or control person of any of the above

Christopher Hynes consented to the following sanctions:

• $25,000 fine
• $2,889.99 disgorgement
• $41,999 restitution

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Background Information

Christopher Hynes has passed the following exams:

• Series 66 – Uniform Combined State Law Examination
• Series 7 – General Securities Representative Examination

He has also worked for the following firms:

• Jefferson Pilot Securities Corporation (CRD#:3870)
• New England Securities (CRD#:615)
• Securities Service Network (CRD#:13318)
• AXA Advisors (CRD#:6627)

Kurta Law Can Help

If you worked with Christopher Hynes and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.